James Allen is a registered investment advisor, based in Andover, KS, with 14 years of industry experience.
Location
Andover, KS
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an insurance agent and founder of Tartan Financial Group LLC, dedicating a few hours per week to this role. He also works full-time as an advisory representative of a RIA called CIRA and is an independent insurance agent for various independent insurance companies, dedicating minimal time to this role.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Commonwealth Financial NetworkBroker
Commonwealth Financial Network
Mariner Wealth Advisors, LLC
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.